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AVIATION MANAGEMENT SYSTEM SMS Training Program

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List of Effective Pages Revision No. Original Effective Date: 05 Sept 2017

PAGE. REV. NO. EFFECTIVE DATE.

RECORD OF REVISIONS 1 ORIG 05 Sept 2017 2 ORIG 05 Sept 2017

LIST OF EFFECTIVE PAGES 3 ORIG 05 Sept 2017 4 ORIG 05 Sept 2017

TABLE OF CONTENTS 5 ORIG 05 Sept 2017 6 ORIG 05 Sept 2017

1. INTRODUCTION 1-1 ORIG 05 Sept 2017 1-2 ORIG 05 Sept 2017 1-3 ORIG 05 Sept 2017 1-4 ORIG 05 Sept 2017

2. TRAINING COURSES

AND CATEGORIES 2-1 ORIG 05 Sept 2017 2-2 ORIG 05 Sept 2017 2-3 ORIG 05 Sept 2017 2-4 ORIG 05 Sept 2017 2-5 ORIG 05 Sept 2017 2-6 ORIG 05 Sept 2017

PAGE. REV. NO. EFFECTIVE DATE. 3. SMS TRAINING FOR PERSONNEL

3-1 ORIG 05 Sept 2017 3-2 ORIG 05 Sept 2017 3-3 ORIG 05 Sept 2017 3-4 ORIG 05 Sept 2017 3-5 ORIG 05 Sept 2017 3-6 ORIG 05 Sept 2017 3-7 ORIG 05 Sept 2017 3-8 ORIG 05 Sept 2017

4. SMS TRAINING FOR MANAGERS

4-1 ORIG 05 Sept 2017 4-2 ORIG 05 Sept 2017 4-3 ORIG 05 Sept 2017 4-4 ORIG 05 Sept 2017 4-5 ORIG 05 Sept 2017 4-6 ORIG 05 Sept 2017 4-7 ORIG 05 Sept 2017 4-8 ORIG 05 Sept 2017 4-9 ORIG 05 Sept 2017


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SMS Training Program

Table of Contents

1. INTRODUCTION............................................................................................................................... 1-1

1.1 GENERAL INFORMATION .............................................................................................................................. 1-1 1.1.1 BACKGROUND .................................................................................................................................................... 1-1 1.1.2 ALIGNMENT WITH ICAO SMS FRAMEWORK ................................................................................................... 1-1

1.2 POLICY ............................................................................................................................................................. 1-2 1.2.1 SMS TRAINING FOR SAFETY STAFF ................................................................................................................ 1-2 1.2.2 SMS TRAINING FOR ALL PERSONNEL, SUPERVISORS AND MANAGERS ................................................... 1-2 1.2.3 PERSONNEL EXPECTATIONS (COMPETENCE) .............................................................................................. 1-2 1.2.4 BEST PRACTICES ............................................................................................................................................... 1-2 1.2.5 SMS E-LEARNING METHOD .............................................................................................................................. 1-3 1.2.6 FORMAL CLASSROOM TRAINING ..................................................................................................................... 1-3

1.3 CATEGORIES OF TRAINING .......................................................................................................................... 1-3 1.3.1 PERSONNEL ....................................................................................................................................................... 1-3 1.3.2 SUPERVISORS & MANAGERS ........................................................................................................................... 1-3 1.3.3 SAFETY STAFF ................................................................................................................................................... 1-4 1.3.4 ACCOUNTABLE EXECUTIVE & SENIOR MANAGERS ...................................................................................... 1-4

2. TRAINING COURSES AND CATEGORIES ..................................................................................... 2-1

2.1 TRAINING INTERVALS .................................................................................................................................... 2-2 2.1.1 INITIAL SMS TRAINING ....................................................................................................................................... 2-2 2.1.2 RECURRENT SMS TRAINING ............................................................................................................................ 2-2

2.2 RESPONSIBILITIES ......................................................................................................................................... 2-3 2.2.1 SAFETY DEPARTMENT MANAGER ................................................................................................................... 2-3 2.2.2 DEPARTMENT MANAGERS ............................................................................................................................... 2-3 2.2.3 ALL PERSONNEL ................................................................................................................................................ 2-3

2.3 AUTHORITY ...................................................................................................................................................... 2-3 2.3.1 DIRECTOR OF SAFETY ...................................................................................................................................... 2-3 2.3.2 DEPARTMENT MANAGERS ............................................................................................................................... 2-3 2.3.3 ALL PERSONNEL ................................................................................................................................................ 2-3

2.4 SAFETY-RELATED SPECIFIC TRAINING ...................................................................................................... 2-4 2.5 RECORDKEEPING ........................................................................................................................................... 2-4

2.5.1 REDUCTION TO SINGLE-LINE ENTRIES ........................................................................................................... 2-4 2.6 SMS TRAINING STATUS ................................................................................................................................. 2-5

2.6.1 STATUS BOARD .................................................................................................................................................. 2-5 2.7 CONTROLS ...................................................................................................................................................... 2-5

3. SMS TRAINING FOR PERSONNEL ................................................................................................. 3-1

3.1 COURSE: INITIAL SMS TRAINING FOR PERSONNEL ................................................................................. 3-1 3.1.1 TRAINING CATEGORY ....................................................................................................................................... 3-1 3.1.2 COURSE OBJECTIVES ....................................................................................................................................... 3-1 3.1.3 PREREQUISITES ................................................................................................................................................ 3-1 3.1.4 COURSE STRUCTURE ....................................................................................................................................... 3-1 3.1.5 INSTRUCTIONAL METHODS .............................................................................................................................. 3-1 3.1.6 COURSE ENROLLMENT ..................................................................................................................................... 3-1 3.1.7 COMPLETION STANDARD ................................................................................................................................. 3-1


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3.2 SYLLABUS: INITIAL SMS TRAINING FOR PERSONNEL ............................................................................. 3-2 3.2.1 MODULE – INTRODUCTION TO SAFETY MANAGEMENT SYSTEMS ............................................................. 3-2 3.2.2 MODULE – UNDERSTANDING THE SMS ......................................................................................................... 3-2 3.2.3 MODULE – ROLES & RESPONSIBILITIES OF PERSONNEL ........................................................................... 3-3 3.2.4 MODULE – HUMAN FACTORS AWARENESS ................................................................................................... 3-3 3.2.5 MODULE – SAFETY RISK MANAGEMENT FOR PERSONNEL ......................................................................... 3-4 3.2.6 MODULE – HAZARD IDENTIFICATION AND REPORTING ............................................................................... 3-4 3.2.7 MODULE – COMPANY SAFETY POLICIES AND OBJECTIVES* ....................................................................... 3-5

3.3 COURSE: RECURRENT SMS TRAINING FOR PERSONNEL ....................................................................... 3-6 3.3.1 TRAINING CATEGORY ....................................................................................................................................... 3-6 3.3.2 COURSE OBJECTIVES ....................................................................................................................................... 3-6 3.3.3 PREREQUISITE ................................................................................................................................................... 3-6 3.3.4 COURSE STRUCTURE ....................................................................................................................................... 3-6 3.3.5 INSTRUCTIONAL METHODS .............................................................................................................................. 3-6 3.3.6 COURSE ENROLLMENT ..................................................................................................................................... 3-6 3.3.7 COMPLETION STANDARD ................................................................................................................................. 3-6

3.4 SYLLABUS: RECURRENT SMS TRAINING FOR PERSONNEL ................................................................... 3-7 3.4.1 MODULE – ROLES & RESPONSIBILITIES OF PERSONNEL ........................................................................... 3-7 3.4.2 MODULE – AVOIDING ACCIDENTS ................................................................................................................... 3-7 3.4.3 MODULE – HAZARD IDENTIFICATION and REPORTING ................................................................................. 3-8 3.4.4 MODULE – SAFETY PERFORMANCE REVIEW AND LESSONS LEARNED* ................................................... 3-8

4. SMS TRAINING FOR MANAGERS .................................................................................................. 4-1

4.1 COURSE: INITIAL SMS TRAINING FOR MANAGERS .................................................................................. 4-1 4.1.1 TRAINING CATEGORY ....................................................................................................................................... 4-1 4.1.2 COURSE OBJECTIVES ....................................................................................................................................... 4-1 4.1.3 PREREQUISITES ................................................................................................................................................ 4-1 4.1.4 COURSE STRUCTURE ....................................................................................................................................... 4-1 4.1.5 INSTRUCTIONAL METHODS .............................................................................................................................. 4-1 4.1.6 COURSE ENROLLMENT ..................................................................................................................................... 4-1 4.1.7 COMPLETION STANDARD ................................................................................................................................. 4-1

4.2 SYLLABUS: INITIAL SMS TRAINING FOR MANAGERS .............................................................................. 4-2 4.2.1 MODULE – INTRODUCTION TO SMS FOR MANAGERS .................................................................................. 4-2 4.2.2 MODULE – ROLES AND RESPONSIBILITIES OF MANAGERS ........................................................................ 4-2 4.2.3 MODULE – SAFETY PROMOTION ..................................................................................................................... 4-3 4.2.4 MODULE – HUMAN FACTORS AND ORGANIZATIONAL SAFETY ................................................................... 4-3 4.2.5 MODULE – SAFETY REPORTS AND ROOT CAUSE ANALYSIS ...................................................................... 4-4 4.2.6 MODULE – SAFETY ASSURANCE and INTERNAL EVALUATION .................................................................... 4-4 4.2.7 MODULE – SAFETY RISK MANAGEMENT FOR MANAGERS .......................................................................... 4-5 4.2.8 MODULE – MANAGEMENT OF CHANGE .......................................................................................................... 4-5

4.3 COURSE: RECURRENT SMS TRAINING FOR MANAGERS ........................................................................ 4-7 4.3.1 TRAINING CATEGORY ....................................................................................................................................... 4-7 4.3.2 COURSE OBJECTIVES ....................................................................................................................................... 4-7 4.3.3 PREREQUISITES ................................................................................................................................................ 4-7 4.3.4 COURSE STRUCTURE ....................................................................................................................................... 4-7 4.3.5 INSTRUCTIONAL METHODS .............................................................................................................................. 4-7 4.3.6 COURSE ENROLLMENT ..................................................................................................................................... 4-7 4.3.7 COMPLETION STANDARD ................................................................................................................................. 4-7

4.4 SYLLABUS: RECURRENT SMS TRAINING FOR MANAGERS .................................................................... 4-8 4.4.1 MODULE – ROLES AND RESPONSIBILITIES OF MANAGERS ........................................................................ 4-8 4.4.2 MODULE – AVOIDING ACCIDENTS ................................................................................................................... 4-8 4.4.3 MODULE – INTRODUCTION TO ACCIDENT INVESTIGATION ......................................................................... 4-9 4.4.4 MODULE – SAFETY PERFORMANCE REVIEW AND LESSONS LEARNED* ................................................... 4-9


OmniSMS.aero Revision: 05 Sept 2017 Introduction Page 1-1


SMS Training Program 1. Introduction

1.1 GENERAL INFORMATION

1.1.1 BACKGROUND (A) The Your Company SMS Training Program has been developed from guidance contained in ICAO

Document 9859: Safety Management Manual and the FAA Academy’s International Training Program on Safety Management Systems.

(B) This Program sets forth training and qualification methods, instructions and procedures for all front-line personnel, supervisors, managers, senior managers and the accountable executive regarding the YCO Safety Management System (SMS). SMS training is an important safety promotion element, which supports core SMS processes of safety risk management and safety assurance. Continued daily application of these core processes helps Your Company maintain the highest level of safety throughout the entire scope and life cycle of all systems and operational processes.

1.1.2 ALIGNMENT WITH ICAO SMS FRAMEWORK (A) SMS is a complex topic, and demands comprehensive training. At the same time, however, it is essential

that students not be overwhelmed with the subject matter being presented. This is why Your Company has adopted ICAO’s recommended ‘building-block’ approach to SMS training.

(B) Your Company delivers and administers a set of SMS e-learning courses, comprised of various modules which are approximately 20 – 30 minutes in length. Each module builds upon knowledge gained in previous modules, and each course of SMS training builds upon knowledge gained in previous courses.

(C) Initial SMS training courses are aligned with the ICAO SMS Framework of four components and twelve elements. They are suitable for phases II, III, and IV of SMS implementation as set forth in ICAO Doc 9859.




1.2 POLICY

1.2.1 SMS TRAINING FOR SAFETY STAFF (A) Your Company delivers, or causes to be delivered, SMS training for safety staff and other personnel who

hold key safety-related positions. SMS training may be conducted in-house via traditional classroom training, or outsourced to a reputable provider of aviation safety training.

(B) When SMS training is valid and current at the time of training.

(C) When SMS training is outsourced, Your Company will provide company-specific SMS training. Company-specific SMS training should address Your Company’s past safety record (including areas of systemic weakness), recent lessons learned, safety objectives, and company-specific procedures for voluntary and mandatory safety reporting.

NOTE: Various industry courses are offered to provide safety staff members with a basic understanding of SMS theory

and planning. Key personnel charged with implementing the YCO Safety Management System should possess significant education and Background in SMS, and receive additional

training from industry sources in modern aviation safety management methods.

1.2.2 SMS TRAINING FOR ALL PERSONNEL, SUPERVISORS AND MANAGERS (A) All front-line personnel, supervisors, managers,

with the SMS and safety-related duties.

(B) Front-line personnel must receive SMS training and have it documented prior to being released to work on their own.

(C) Technical training and job-specific safety training is the responsibility of each department (e.g., dispatch, flight operations, station operations, maintenance & inspection).

1.2.3 PERSONNEL EXPECTATIONS (COMPETENCE) (A) Competency requirements ensure that personnel who perform safety-related functions have the knowledge,

education, training and experience to carry out their duties with the highest level of professionalism and safety.

(B) Successful completion and currency in the appropriate course of SMS training is a basic competency requirement for all personnel and managers.

1.2.4 BEST PRACTICES (A) Your Company has established the following best practices regarding the administration of Safety

Management System training:

(1) All training administered will meet or exceed the minimum requirements of this program;

(2) All training materials utilized

(3) Qualification shall be completed by written or electronic testing;

(4) All tests shall be considered satisfactory when the trainee achieves 100% test scores;

(5) All test results will be documented in training records;

(6) Adequate time shall be allocated to individual students, to ensure adequate learning has occurred.




1.2.5 SMS E-LEARNING METHOD (A) YCO administers a series of SMS e-learning courses as the preferred method of providing comprehensive,

quality and consistent SMS training to all personnel. This training is administered through secure log-in to the OmniSMS Learning Management System (LMS).

(B) A number of interactive training modules address various SMS subject areas. At the completion of each module, a quiz is completed by the student to demonstrate knowledge gained.

(C) Minimum training times are answered correctly (100% score) to assure no gaps in

knowledge exist.

(D) Students may review test questions and any portion of each course at their convenience. This method assures adequate training time, and that the student is capable of discharging his/her duties with the highest level of safety.

1.2.6 FORMAL CLASSROOM TRAINING (A) In addition to e-learning courses, Your Company administers classroom training in subjects that are

company-specific. Completion of all appropriate preceding e-learning modules is a prerequisite to each classroom module. Classroom modules include:

(1) Company Safety Policies and Objectives;

(2) Safety Performance Review and Lessons Learned.

(B) By administering classroom training after e-learning course completion, students have a knowledge base to build on, and have opportunities to interact with an instructor and ask questions regarding subject material.

1.3 CATEGORIES OF TRAINING (A) Categories of Training are based on duty positions. They direct administrators and training staff to

applicable courses / curricula for SMS training and the qualification of all Your Company personnel. The following categories of training are utilized within the Your Company SMS Training Program:

1.3.1 PERSONNEL (A) Front-line personnel must successfully complete all specified modules in the following courses of SMS

training as set forth in the Table of SMS Training Courses and Categories below.

(1) Initial SMS Training for Personnel;

(2) Recurrent SMS Training for Personnel.

1.3.2 SUPERVISORS & MANAGERS (A) Supervisors and managers must successfully complete all specified modules in the following courses of

SMS training as set forth in the Table of SMS Training Courses and Categories below:


(2) Initial SMS Training for Managers;

(3) Recurrent SMS Training for Managers.




1.3.3 SAFETY STAFF (A) Safety staff members must successfully complete all specified modules in the following courses of SMS

training, as set forth in the Table of SMS Training Courses and Categories below:


(2) Initial SMS Training for Managers;

(3) Recurrent SMS Training for Managers.

NOTE: No employee of Your Company should be assigned to any duties with the company unless they have

successfully completed the appropriate course of SMS training within the preceding 12 calendar months.

1.3.4 ACCOUNTABLE EXECUTIVE & SENIOR MANAGERS (A) Senior managers and the accountable executive should successfully complete all specified modules in the

following courses of SMS training, as set forth in the Table of SMS Training Courses and Categories below:

(1) Initial SMS Training for Personnel (specified modules only);

(2) Initial SMS Training for Managers (specified modules only);

(3) Recurrent SMS Training for Managers (specified modules only).

NOTE: The accountable executive is responsible for assuring the overall performance of the YCO SMS.

As a member of senior management, the accountable executive (and other senior managers) should therefore, at a minimum, complete the modules shown in the table below. Senior managers are further encouraged to complete all training modules in all categories.


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2. Training Courses and Categories

* NOTE:

Safety policies and safety objectives are company-specific. Therefore, these subjects are administered in a formal classroom setting. Successful completion of all preceding e-learning modules within the course

is a prerequisite to the classroom module: Company Safety Policies and Objectives. Instructors may receive credit for all subjects taught.

Category of Training

COURSE OF TRAINING Personnel Supervisors & Managers Safety Staff AE & Senior

Managers

INITIAL SMS TRAINING FOR PERSONNEL

Introduction to SMS X X X X

Understanding the SMS X X X X

Roles & Responsibilities of Personnel X X X

Human Factors Awareness X X X

Safety Risk Management for Personnel X X X

Hazard Identification and Reporting X X X

Company Safety Policies and Objectives * X X X X

INITIAL SMS TRAINING FOR MANAGERS

Introduction to SMS for Managers X X

Roles & Responsibilities of Managers X X X

Safety Promotion X X X

Human Factors and Organizational Safety X X

Safety Reports and Root Cause Analysis X X

Safety Assurance and Internal Evaluation X X

Safety Risk Management for Managers X X

Management of Change X X




Training Courses and Categories (continued)

2.1 TRAINING INTERVALS (A) Training should be completed satisfactorily within the preceding 12 calendar months for each person’s

assigned duty position. Qualification is depth so as to provide adequate knowledge for all

personnel to accomplish their duties with the highest level of safety.

2.1.1 INITIAL SMS TRAINING (A) Initial training (based on the appropriate category) is required for new-hires, for all persons whose currency

has lapsed (re-qualification), and for personnel who are changing categories (e.g., a person who is being promoted to a supervisory position).

2.1.2 RECURRENT SMS TRAINING (A) Recurrent SMS training is for all personnel who have received initial training within the last 12 calendar

months. Recurrent SMS training should be to have been completed in the person’s base month

(the month in which training is due).

* NOTE: Safety performance and lessons learned are company-specific. Therefore, these subjects are administered

in a formal classroom setting. Successful completion of all preceding e-learning modules is a prerequisite to the classroom module: Safety Performance Review and Lessons Learned.

Category of Training

COURSE OF TRAINING Personnel Supervisors & Managers Safety Staff AE & Senior

Managers

RECURRENT SMS TRAINING FOR PERSONNEL

Roles and Responsibilities of Personnel X

Avoiding Accidents X

Hazard Identification and Reporting X

Safety Performance Review & Lessons Learned * X

RECURRENT SMS TRAINING FOR MANAGERS

Roles and Responsibilities of Managers X X X

Avoiding Accidents X X X X

Intro to Accident Investigation X X X

Safety Performance Review & Lessons Learned * X X X X




2.2 RESPONSIBILITIES

2.2.1 SAFETY DEPARTMENT MANAGER (A) The Director of Safety is responsible for assuring that all personnel complete the SMS training modules

appropriate to their positions (including senior management) at least once every 12 months.

(B) The Director of Safety shall to supervisor or management duties.

(C) The Director of Safety is responsible for assembling and maintaining a training folder for each individual who receives SMS Training. The Safety Department

using the SMS Training Status Board or other suitable method.

(D) All records of training are maintained by the Safety Department in accordance with policies and procedures contained in the RECORDKEEPING paragraph below.

2.2.2 DEPARTMENT MANAGERS (A) Department managers are responsible for assuring that all personnel within their respective departments

have received SMS training within the preceding 12 calendar months.

2.2.3 ALL PERSONNEL (A) No person may accept any assignment unless that person has received the appropriate course of SMS

training within the last 12 months. Each person trained under this program is responsible for ensuring his or her SMS training interval does not exceed 12 calendar months.

NOTE: Responsibility for assurance of SMS training currency is shared between the Safety Department,

the manager who assigns duty, and the person to whom duty is assigned.

2.3 AUTHORITY

2.3.1 DIRECTOR OF SAFETY (A) The Director of Safety (or delegate) is

as set forth herein, at any time.

2.3.2 DEPARTMENT MANAGERS (A) Department managers are authorized to direct and assign their department’s employees to take appropriate

courses of SMS training as set forth herein, whenever the need is determined for initial, recurrent or remedial training.

2.3.3 ALL PERSONNEL (A) All personnel are authorized to respectfully decline an assignment for duty if they have not received SMS

training within the last 12 calendar months.




2.4 SAFETY-RELATED SPECIFIC TRAINING (A) When safety-related specific training is required (e.g., first aid, fire-fighting, etc.), the Safety Department or

appropriate department manager will coordinate

safety, and environmental information is included and conveyed to all personnel. Types of training may include:

(1) Initial - New employees or those newly transferred to a position.

(2) Recurrent – Once-a-year refresher course.

(3) Remedial - Individuals who cause more than one accident, incident or injury will be retrained. Remedial training will also be

has resulted.

(4) First aid/CPR - FA/CPR will be provided at locations where adequate emergency vehicles are not available to company employees at all times.

(5) Specific Program Training - This training applies to hazardous work environments, such as confined spaces training, paint booth training, respirator training, etc. All specific program training will be documented in each employee’s training file.

2.5 RECORDKEEPING (A) The Director of Safety is charged with the overall accuracy, completeness, maintenance and security of all

SMS training files. The Director of Safety assembles and maintains a training folder for each individual who receives SMS training.

(B) Training folders are kept in the training records files at the company’s principal base of operations.

(C) Training files contain a record of the as the individual is performing duties for the

company, and for no less than 2 years thereafter.

NOTE: If approved by FAA / CAA, training records may also be

kept in a computer-based recordkeeping system.

2.5.1 REDUCTION TO SINGLE-LINE ENTRIES (A) All records of training that are more than 12 months old may be reduced to single-line entries that contain the

following information:

(1) The name of the individual trained;

(2) The date training was completed;

(3) The person’s category of training;

(4) The results of training (satisfactory or unsatisfactory).




2.6 SMS TRAINING STATUS (A) The Safety Department may elect to establish and maintain a Training Status Board at the Company’s

principal base of operations. This status board informs the Safety Department and other managers as to the SMS training status of personnel,

regarding SMS training.

(B) The following table shows an example of the SMS Training Status Board. This Status board is checked by managers prior to assigning duties regarding the SMS. Only personnel that have been properly trained, qualified and are within currency should be assigned to duty. Further, no person should accept any assignment unless that person has been trained within the last 12 months.

(C) Responsibility for training currency is therefore shared between the person who assigns duty and the person to whom duty is assigned.

2.6.1 STATUS BOARD

Names of Personnel

Category of Personnel Date Trained Expires Records Review

(Date & Initials)

Bob Jones (BJ) Safety Staff 5/14/2017 5/31/2018 10/10/2017 BJ

Ali Etwebi Personnel Not yet assigned --- N/A

Laars Hansenn Accountable Exec. In Training --- N/A

Werner Gustav Supervisor 3/25/2017 3/31/2018 10/10/2017 BJ

Wendy Carlos Manager 4/2/2017 4/31/2018 10/10/2017 BJ

NOTE: Personnel should know the status of their SMS training, and should confirm their training status with the Safety Department if any doubt as to their currency exists.

2.7 CONTROLS (A) The Safety Department conducts periodic records reviews of the training folders of each person, in

conjunction with internal evaluations and compliance monitoring, as set forth in the YCO Internal Evaluation Program.

(B) Any discrepancies between paper training records and computerized records should be carefully investigated to determine accuracy. If the discrepancy cannot be resolved, the individual must be retrained.

(C) The person performing the review shall

the training records filing cabinet upon completion of the records review. The Safety Department may delegate this duty but remains responsible for its timely and accurate completion.






OmniSMS.aero Revision: 05 Sept 2017 SMS Training for Personnel Page 3-1


3. SMS Training for Personnel 3.1 COURSE: INITIAL SMS TRAINING FOR PERSONNEL

3.1.1 TRAINING CATEGORY (A) All company personnel, including supervisors / managers, safety staff, and senior managers.

3.1.2 COURSE OBJECTIVES (A) To provide new-hire and current or previously qualified students with

attributes of a positive and “just” safety culture, and to actively participate in that culture; to understand and apply duties, responsibilities and authorities as they pertain to safety management; to

nderstand and be able to utilize the Employee Reporting System, without fear of retribution; to understand and apply basic Safety Risk Management techniques to daily activities.

3.1.3 PREREQUISITES (A) Successful completion of YCO Basic Indoctrination Training.

3.1.4 COURSE STRUCTURE (A) This course is comprised of eight modules, each with one or more topics. After each module is a quiz with

multiple-choice, true / false and other question formats. The course:

(1) Satisfies requirements for initial and re-qualification training;

(2) May be completed in more than one session;

(3) May be taken as many times or as often as the student desires, or as management requests.

3.1.5 INSTRUCTIONAL METHODS (A) Instruction is delivered via

the last module: Company Safety Policies and Objectives.

3.1.6 COURSE ENROLLMENT (A) Students login to the OmniSMS Learning Management Center to access the course. If the student is unable

to complete the course in one session, the student may log out. The program records all module completions and every question answered. When returning to the course, the student may resume at the last point of progress.

3.1.7 COMPLETION STANDARD (A) A student has successfully completed Initial SMS Training for Personnel when

Training Courses and Categories, and:

(1) All associated quizzes have been successfully completed and corrected to 100%;

(2) A certificate of completion resides in the student’s training records.




3.2 SYLLABUS: INITIAL SMS TRAINING FOR PERSONNEL

3.2.1 MODULE – INTRODUCTION TO SAFETY MANAGEMENT SYSTEMS (A) Completion Standards: The module will be successfully completed when, by written test or computer-

based assessment, the student can demonstrate

the highest level of safety.

● Welcome Message

● Course Completion Standards

● SMS Participation

• Ways to Improve Safety

• Improving Safety Culture

• Common Goals

• Safety is Everyone’s Job

● Benefits of Continuous Improvement:

• Increased Production

• Improved Company Performance

● New Ways to Think About Safety

● Making the SMS Work

● Quiz

3.2.2 MODULE – UNDERSTANDING THE SMS (A) Completion Standards: The module will be successfully completed when, by written test or computer-

based assessment, the student can demonstrate the four components of SMS

and the role of each component in effective safety management.

● Safety Defined

● Important SMS Concepts

• Processes and conditions

• Systems and Interfaces

• Controls

● Safety Management vs. Quality Management

● Safety Management System Defined

● SMS Components and Elements

• Safety Policy & Objectives

• Safety Risk Management

• Safety Assurance

• Safety Promotion

● The Purpose of the SMS

● Quiz




3.2.3 MODULE – ROLES & RESPONSIBILITIES OF PERSONNEL (A) Completion Standards: The module will be successfully completed when, by written test or computer-


nd limits of authority regarding the reporting of errors and active participation in the company’s safety management efforts.

● Overview

● SMS Brings a New Perspective

• SMS Objectives

• Authority

● New Roles Regarding Safety Management

● New Responsibilities

• Basic Safety

• Fitness for work

• Rules and Regulations

● Normalized Deviation

• Feedback

● Standards and Best Practices

• Standard Operating Procedures

● Lines of Safety Communication

● Continuous Improvement

● Quiz

3.2.4 MODULE – HUMAN FACTORS AWARENESS (A) Completion Standards: The module will be successfully completed when, by written test or computer-


egrade their job performance and thus contribute to errors, or to an accident.

● Overview and Background

● Human Error and Accidents

• An Historical Example

• Active Failures and Latent Conditions

● Human Factors Awareness

● Basic Human Senses

• Detection and Perception

• Habituation and Complacency

● Human Limitations

● Human Performance

● Fighting Human Error




● Managing Internal Factors

• Physical factors

• Physiological factors

• Psychological factors

• Psycho-social factors

● Determining Fitness

● Maintaining Vigilance

● Managing Errors

● Improving and Promoting Safety

● Quiz

3.2.5 MODULE – SAFETY RISK MANAGEMENT FOR PERSONNEL (A) Completion Standards: The module will be successfully completed when, by written test or computer-

based assessment, the student can demonstrate how to apply

SRM to daily tasks and activities.

● Safety Risk Management (SRM) Defined

● Practical Application of SRM

● Time-Critical SRM and the Five Questions:

• Why Am I Doing This Task?

• What Could Go Wrong?

• How Could It Affect Me or Others?

• How Likely Is It To Happen?

• What Can I Do About It?

● Safety Risk Management Principles

• Accept No Unnecessary Risk

• Make Risk Decisions at Appropriate Levels

• Accept Risk Only When Benefits Outweigh the Costs

● Deliberate Safety Risk Management

● Responsibilities and Authority

● Quiz

3.2.6 MODULE – HAZARD IDENTIFICATION AND REPORTING (A) Completion Standards: The module will be successfully completed when, by written test or computer-


and events require a report.

● Introduction

● Finding Hazards




● The Need for Non-punitive Reporting

● Hazard Sources

• Objects

• Conditions

• Behaviors

● Significant Hazards

● Responsibilities and Accountability

• Taking Action

• Reporting Policies

• Don’t Overload the System

● Non-punitive Reporting

● Hazards and Events Requiring a Report

● Quiz

3.2.7 MODULE – COMPANY SAFETY POLICIES AND OBJECTIVES* (A) Completion Standards: The module will be successfully completed when, by referring to policy statements

in hand, the student can demonstrate

and understanding of YCO’s safety objectives.

● Safety & Quality Policy

• Our most important goals

• Professionalism

• Individual safety performance part of employee evaluations

● Non-punitive Reporting Policy

• Acceptable Behaviors

• Unacceptable behaviors

• Disciplinary action when errors occur

● Safety Objectives

• What are we measuring?

• How can I participate?

* Classroom module

- END SYLLABUS: INITIAL SMS TRAINING FOR PERSONNEL-




3.3 COURSE: RECURRENT SMS TRAINING FOR PERSONNEL

3.3.1 TRAINING CATEGORY (A) All company personnel excluding supervisors / managers, safety staff, and senior managers.

3.3.2 COURSE OBJECTIVES (A) To provide company personnel with

of their roles, responsibilities and authorities as they pertain to the SMS; to provide an understanding of how organizational factors

in identifying hazards; to share recent past safety performance; to impart lessons learned; and to provide important safety communications to personnel.

3.3.3 PREREQUISITE (A) Successful completion of the course: Initial SMS Training for Personnel within the previous 12 calendar

months.

3.3.4 COURSE STRUCTURE (A) This course is comprised of four modules, each with one or more topics. After each module is a quiz with

multiple-choice, true / false and other question formats. The course:

(1) Satisfies requirements for recurrent SMS training;


(3) May be taken as many times or as often as the student desires, or as management requests.

3.3.5 INSTRUCTIONAL METHODS (A) Instruction is delivered via on-line computer program

r graphics.

(B) Classroom instruction is utilized for the last module: Safety Performance Review & Lessons Learned.



3.3.7 COMPLETION STANDARD (A) A student has successfully completed Recurrent SMS Training for Personnel when instruction has been

received in all appropriate modules as set forth in the Table of SMS Training Courses and Categories, and:






3.4 SYLLABUS: RECURRENT SMS TRAINING FOR PERSONNEL

3.4.1 MODULE – ROLES & RESPONSIBILITIES OF PERSONNEL (A) Completion Standards: The module will be successfully completed when, by written test or computer-


e company’s safety management efforts.

● Overview

● Roles Regarding Safety Management

● Responsibilities

• Fitness for work

• Rules and Regulations

● Fighting Normalized Deviation

● Standards and Best Practices

● Lines of Safety Communication


● Quiz

3.4.2 MODULE – AVOIDING ACCIDENTS (A) Completion Standards: The module will be successfully completed when, by written test or computer-


effective for the prevention of accidents.

● Overview

● Safety – The Traditional Approach

● The Evolution of Safety Management

• Machine Period

• Human Period

• Organizational Period

● Human Error Fundamentals

● Accident Causation – the Reason Model

● The Organizational Accident

● Looking at the Whole System

● Strategies for Safety Management

• Reactive Safety Strategy

• Proactive & Predictive Safety Strategy

• Personal Safety Strategies

● Quiz




3.4.3 MODULE – HAZARD IDENTIFICATION AND REPORTING (A) Completion Standards: The module will be successfully completed when, by written test or computer-


hazards, occurrences and events require a report.

● Introduction

● Finding Hazards

● The Need for Non-punitive Reporting

● Hazard Sources

• Objects

• Conditions

• Behaviors

● Responsibilities and Accountability

• Taking Action

• Reporting Policies

● Non-punitive Reporting

● Hazards and Events Requiring a Report

● Quiz

3.4.4 MODULE – SAFETY PERFORMANCE REVIEW AND LESSONS LEARNED* (B) Completion Standards: The module will be successfully completed when the student can, through oral

quiz, demonstrate a or more recent lessons learned.

● The Importance of Sharing:

• Safety Performance

• Lessons Learned

● Methods of Communication

● Lessons Learned:

• External

• Internal

● Safety Performance Review

• Benefits Realized Through the YCO SMS

• Improvements Made

● Oral Quiz

* Classroom module

- END SYLLABUS: RECURRENT SMS TRAINING FOR PERSONNEL-


OmniSMS.aero Revision: 05 Sept 2017 SMS Training for Managers Page 4-1


4. SMS Training for Managers 4.1 COURSE: INITIAL SMS TRAINING FOR MANAGERS

4.1.1 TRAINING CATEGORY (A) All supervisors, managers, safety staff, the accountable executive and senior managers.

4.1.2 COURSE OBJECTIVES (A) To provide supervisors, managers, safety staff, senior management and the accountable executive with

management to daily activities; to develop risk controls and corrective actions, including follow-up procedures and recordkeeping; to effectively investigate accidents, incidents and near-accidents in order to discover contributing and causal factors; to perform internal

foster, promote and actively participate in the organization’s positive safety culture.

4.1.3 PREREQUISITES (A) Successful completion of: Initial SMS Training for Personnel within the previous 12 calendar months.

4.1.4 COURSE STRUCTURE (A) This course is comprised of eight modules, each with one or more topics. After each module is a quiz with

multiple-choice, true / false and other interactive question formats. The course:



(3) May be taken as many times or as often as the student desires, or as upper management requests.

4.1.5 INSTRUCTIONAL METHODS (A) Instruction is delivered via on-line computer program interaction which includes

and other graphics.



4.1.7 COMPLETION STANDARD (A) A student has successfully completed Initial SMS Training for Managers when instruction has been







4.2 SYLLABUS: INITIAL SMS TRAINING FOR MANAGERS

4.2.1 MODULE – INTRODUCTION TO SMS FOR MANAGERS (A) Completion Standards: The module will be successfully completed when, by written test or computer-

based assessment, the manager can demonstrate a

SMS components and elements into their daily activities.

● Introduction

● Making an Investment

● Maintaining Balance – Production vs Protection

● Accident Causation (review)

● Integration of SMS Components and Elements

• Integrating Safety Risk Management into Daily Activities

• Integrating Safety Assurance into Daily Activities

• Integrating Safety Promotion into Daily Activities

● Making your SMS Effective

● Quiz

4.2.2 MODULE – ROLES AND RESPONSIBILITIES OF MANAGERS (A) Completion Standards: The module will be successfully completed when, by written test or computer-

based assessment, the manager can demonstrate

application of Safety Risk Management and Safety Assurance to the processes they own.

● Assuring Compliance

● Beyond Regulatory Compliance

● SMS Core Processes

• Safety Risk Management

• Safety Assurance

● System Design and Analysis

● Safety and Quality Management

● Ownership of Processes

● Continuous Monitoring

● Managing Risk and Quality for the Processes you Own

● Soliciting Ideas

● Targeting and Allocation of Resources

● Promoting a Positive Safety Culture

● Quiz




4.2.3 MODULE – SAFETY PROMOTION (A) Completion Standards: The module will be successfully completed when, by written test or computer-

based assessment, the student manager can demonstrate a to apply various safety

promotion and communication methods.

● The Purpose of Safety Promotion

• Supporting the SMS

• SMS Training and Education

● Job-specific Safety Training

● Safety Communications / Lessons Learned

● Safety Culture Development and Just Culture

● Managers’ Attitudes Regarding Human Error

• Negligence vs. ‘Honest Mistakes’

• Drawing the Line Regarding Policy

• Aligning Behavior with Policy

● Investigation of Errors

● Breaking Out of the Blame Cycle

● Safety Promotion Review

● Quiz

4.2.4 MODULE – HUMAN FACTORS AND ORGANIZATIONAL SAFETY (A) Completion Standards: This module will be successfully completed when, by computer-based

assessment, the student manager can demonstrate

organization can be improved through the application of human factors.

● Human Factors and System Safety

• Organizational Safety and Process Design / Control

● Incorporating Human Factors and Controls

● Human Interfaces - SHEL Model Review

● Controls and Error Defenses

• Error Reduction Strategies

• Error Capturing Strategies

• Error Tolerance Strategies

● Controlling Human Error

● Communications

● Resource / Workload Management

● Integrating Human Factors – Conclusion

● Quiz




4.2.5 MODULE – SAFETY REPORTS AND ROOT CAUSE ANALYSIS (A) Completion Standards: The module will be successfully completed when, by written test or computer-

based assessment, the student manager can demonstrate

confidentiality of information.

● Commitments to Employees

● Reporting of Irregularities, Incidents and Accidents

• Including Corrections / Suggestions

● Award Incentives

● Receipt of Reports

• Managers’ Authority

• Resolve of Safety Issues & Reports Received

• Anonymity / Confidentiality

● Improving Processes while Protecting Employees

● Reporting as a Safety Performance Measurement

● Quiz

4.2.6 MODULE – SAFETY ASSURANCE AND INTERNAL EVALUATION (A) Completion Standards: The module will be successfully completed when, by written test or computer-


as well as how audit findings are channeled into Safety Risk Management for risk analysis, assessment and control.

● Safety Assurance in Plain Language

• Assuring Safety Risk Controls

• Internal Evaluation Activities

● Scope and Objectives of Internal Evaluation

● Continuous Monitoring vs. Internal Evaluation

● Internal Audits by Operational Departments

• Regulatory Compliance

• Conformance with Risk Controls

● Responsibility for Vendor Processes

● Managing Risk for Vendors’ Products and Services

● Internal Evaluations by the Safety Department

• Evaluating Operational Processes

• Evaluating the SMS Itself

● Audit Findings and Disposition


● Quiz




4.2.7 MODULE – SAFETY RISK MANAGEMENT FOR MANAGERS (A) Completion Standards: The module will be successfully completed when, by written test or computer-

based assessment, the student manager can demonstrate

planning and design. ● Safety Risk Management Review

● Benefits of SRM

● Reducing Risk and Improving Outcomes

● SRM Principles (review)

• Accept No Unnecessary Risk

• Make Risk Decisions at Appropriate Levels

• Accept Risk Only When Benefits Outweigh the Costs

• Integrate SRM Into Planning and Policy at All Levels

● The Six Steps of SRM

• Identify Hazards

• Analyze and Assess Risk

• Analyze Control Measures

• Make Control Decisions

• Implement Risk Controls

• Supervise and Review

● Implementing of Risk Controls

● Feedback During Operations

● Follow-up and Corrective Actions

● Quiz

4.2.8 MODULE – MANAGEMENT OF CHANGE (A) Completion Standards: The module will be successfully completed when, by written test or computer-

based assessment, the student can demonstrate must specifically be able to

understand how to determine criticality of systems and activities, and the purpose of the safety review process.

● Overview

● Continuous Change

• Internal Changes

• External Changes

● Change Considerations

• Criticality of Systems and Activities

• Stability of Systems and Operational Environments

• Past Performance




● Identifying Critical Changes

• Review of System Description

• Review of Baseline Hazard Analysis

● The Safety Review

● Application of Safety Risk Management:

• To Identified Hazards

• To Identified Safety Management Deficiencies

● Arrangements to Ensure Safety Performance

● Eliminating or Modifying Safety Risk Controls that are No Longer Needed

● Conclusion

● Quiz

- END SYLLABUS: INITIAL SMS TRAINING FOR MANAGERS-




4.3 COURSE: RECURRENT SMS TRAINING FOR MANAGERS

4.3.1 TRAINING CATEGORY (A) All supervisors, managers, safety staff, the accountable executive and senior managers.

4.3.2 COURSE OBJECTIVES (A) To provide supervisors, managers, safety staff, senior management and the accountable executive with

continued SMS training; to foster and promote continued

investigation, and the unique roles of management in that regard; to share recent past safety performance; to impart lessons learned; and to disseminate important safety communications to management staff.

4.3.3 PREREQUISITES (A) Successful completion of: Initial SMS Training for Managers within the previous 12 calendar months.

4.3.4 COURSE STRUCTURE (A) This course is comprised of four modules, each with one or more topics. After each module is a quiz with

multiple-choice, true / false and other interactive question formats. The course:



(3) May be taken as many times or as often as the student desires, or as upper management requests.

4.3.5 INSTRUCTIONAL METHODS (A) Instruction is delivered via on-line computer program interaction which includes

and other graphics.

(B) Classroom instruction is utilized for the last module: Safety Performance Review & Lessons Learned.



4.3.7 COMPLETION STANDARD (A) A student has successfully completed Recurrent SMS Training for Managers when instruction has been



(2) A certificate of completion resides in the student’s training records




4.4 SYLLABUS: RECURRENT SMS TRAINING FOR MANAGERS

4.4.1 MODULE – ROLES AND RESPONSIBILITIES OF MANAGERS (A) Completion Standards: The module will be successfully completed when, by written test or computer-


nsibilities regarding applied Safety Risk Management and Safety Assurance to the processes they own.

● Assuring Compliance and Safety

● SMS Core Processes

● System Design and Analysis

● Ownership of Processes

● Continuous Monitoring

● Managing Risk and Quality for the Processes you Own

● Targeting and Allocation of Resources

● Promoting a Positive Safety Culture

● Quiz

4.4.2 MODULE – AVOIDING ACCIDENTS (A) Completion Standards: The module will be successfully completed when, by written test or computer-


f accidents.

● Overview

● Safety – The Traditional Approach

● The Evolution of Safety Management

• Machine Period

• Human Period

• Organizational Period

● Human Error Fundamentals

● Accident Causation – the Reason Model

• Latent Conditions

• Active Failures

• Defenses

● The Organizational Accident - Looking at the Whole System

● Strategies for Safety Management

• Reactive Safety Strategy

• Proactive & Predictive Safety Strategy

• Personal Safety Strategies

● Quiz




4.4.3 MODULE – INTRODUCTION TO ACCIDENT INVESTIGATION (A) Completion Standards: The module will be successfully completed when, by written test or computer-


regulatory and investigative bodies during an investigation.

● Overview

● Accident Causes (review)

• Latent Conditions / Active Failures

• Chain of Events

● Life Cycle of Accident Investigation

● Near-Accidents, Incidents, and Regulatory Non-Compliance

● Investigation Objectives

● Accident Investigation by Authorities

● Role of Civil Aviation Authorities

● Designation of Parties

• Operator’s Designation as Party to the Investigation

• Dual Roles of Your Company Investigators

● Qualifications of Company Investigators

● Opportunities for Improvement

● Quiz

4.4.4 MODULE – SAFETY PERFORMANCE REVIEW AND LESSONS LEARNED* (A) Completion Standards: The module will be successfully completed when the student can, through oral

quiz, demonstrate a of one or more recent lessons learned.

● The Importance of Sharing:

• Safety Performance

• Lessons Learned

● Methods of Communication

● Lessons Learned:

• External

• Internal

● Safety Performance Review

• Benefits Realized Through the YCO SMS

• Improvements Made

● Oral Quiz

* Classroom module

- END SYLLABUS: RECURRENT SMS TRAINING FOR MANAGERS -

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